Work Experience

Private Practice

As a Litigation Partner at Morgan Lewis & Bockius LLP and Latham & Watkins LLP, I specialized in defending securities enforcement investigations and related litigation brought by the SEC, DOJ, CFTC, FINRA and state regulators.


Most of my clients have been major financial institutions and their officers and employees. These representations have involved sales violations, research violations, insider trading and other forms of market abuse and related supervisory issues. The individuals I have represented include senior officers and managers as well as in-house counsel and compliance personnel.

I have also represented public companies and their officers as well as accounting firm partners in SEC investigations involving financial and accounting fraud and auditor independence.


I have also represented many of these institutions and individuals in related white collar investigations by federal and state prosecutors for business-related crimes.

Merrill Lynch & Co. 
As Vice President- Legal I served as a principal contact with the SEC’s and CFTC’s Divisions of Enforcement and conducted several extensive internal investigations. My responsibilities included handling subpoenas and informal requests for information (including related fact-gathering and witness interviews), attendance at investigative testimony, meetings with SEC and CFTC staff, Wells submissions and pre-trial and trial of administrative litigation.

Securities and Exchange Commission
Washington, DC
Division of Enforcement – Trial Unit
Chief Trial Attorney
Deputy Chief Litigation Counsel
Award: Manuel F. Cohen Outstanding SEC Younger Lawyer Award   

My responsibilities were to handle all aspects of federal court pre-trial and trial work as lead trial counsel, including depositions, document discovery, motion practice (including TRO and preliminary injunction hearings), bench trials and post-trial work.

U.S. Attorney’s Office
Newark, New Jersey
Assistant U.S. Attorney, Criminal Division

Corporate Corruption Unit: handled all aspects of grand jury investigation, pre-trial and trial of criminal matters involving fraudulent business conduct and commercial or political bribery

Appeals Unit: handled all aspects of criminal appeals (review of trial record, briefing and arguing appeals before 3d Cir. Court of Appeals)
Award: DOJ Director’s Award for Superior Performance as an Assistant U.S. Attorney  


my credentials

Education

Law School
  • Georgetown University Law Center, Washington, DC
    J.D.
Undergraduate
  • Georgetown University,  Washington, DC
    A.B. Government

Professional Publications

  • Co-author of “Settling With the Securities and Exchange Commission”, Chapter 34 of Settlement Agreements in Commercial Disputes, Wolters Kluwer Law & Business, 2014

Professional Peer Review

Martindale Peer Review Rating 2016: "AV Preeminent, 5.0 out of 5"


The Best Lawyers in America© 2015, 2016 and 2017: 

• selected by peers for inclusion in the fields of Administrative/Regulatory Law,  Litigation – Securities and Securities Regulation. 

• named the Best Lawyers® 2014-15 Administrative / Regulatory Law “Lawyer of the Year” in New York City.